SEC Pursues Unregistered Dealers, Toxic Financing, Toxic Convertible Notes
2020 has been a historic year for Securities and Exchange Commission ("SEC") enforcement action against toxic lenders as unregistered dealers.
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SEC Charges Mark Miller for Hijacking Inactive Penny Stock Companies to use for Pump & Dump Schemes
On Friday, June 18th, the SEC filed a Complaint in the United States District Court for the District of Minnesota against Minnesota…
Read MoreDavid C. Coggins Sentenced for $1.3 Million Securities Fraud Scheme
On Friday, May 14, 2021, David C Coggins, 42, of Miami, was sentenced to 51 months in prison, followed by 36 months…
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Robinhood Legal Battle Updates
The Securities and Exchange Commission case against Robinhood Financial moved one step closer to a payout when the SEC issued an Order…
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SEC Charges Ubong Uboh and Tyler Crockett for Using a Call Room to Manipulate Stocks
On April 20, 2021, the Securities and Exchange Commission filed charges against Ubong Uboh and Tyler Crockett for soliciting investors to purchase…
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SEC Says Unregistered Dealer Almagarby’s Convertible Notes Are Toast
On August 17, 2020, Judge Marcia G. Cooke, persuaded by the SEC’s arguments, handed down an order granting the SEC’s motion for…
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The SEC charges Giuliani Associates Lev Parnas and David Correia
On February 4, 2021, the U.S. Securities and Exchange Commission announced charges against two associates of Rudy Giuliani, the former New York…
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SEC Charges The Cheesecake Factory For Misleading COVID-19 Disclosures
On Friday, the Securities and Exchange Commission (the "SEC") announced that it had settled charges against The Cheesecake Factory Incorporated (CAKE) for…
Read MoreSecurities Lawyer, Thomas Craft And Disbarred Attorney, Richard Rubin Charged by SEC for Fraudulent Legal Opinions
Securities Lawyer, Thomas Craft And Disbarred Attorney, Richard Rubin Charged by SEC for Fraudulent Legal Opinions
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SEC Charges Benja and Andrew J. Chapin With Defrauding Investors
Today, the Securities and Exchange Commission (the "SEC") charged a San Francisco-based e-commerce startup and its chief executive officer with misleading investors…
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